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  THE ART OF

  INVESTIGATIVE

  INTERVIEWING

  THE ART OF

  INVESTIGATIVE

  INTERVIEWING

  A Human Approach to

  Testimonial Evidence

  Second Edition

  Charles L. Yeschke

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  Butterworth–Heinemann is an imprint of Elsevier Science.

  Copyright © 2003, Elsevier Science (USA).

  All rights reserved.

  No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.

  Recognizing the importance of preserving what has been written, Elsevier Science prints its books on acid-free paper whenever possible.

  Library of Congress Cataloging-in-Publication Data Yeschke, Charles L.

  The art of investigative interviewing : a human approach to testimonial evidence / Charles L. Yeschke.—2nd ed.

  p. cm.

  Includes bibliographical references and index.

  ISBN 0-7506-7595-0 (pbk. : alk. paper)

  1. Interviewing in law enforcement. 2. Police questioning.

  I. Title.

  HV8073 .Y475 2002

  363.25’4—dc21

  2002066615

  British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library.

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  Printed in the United States of America

  Dedicated to the men and women who participated in the rescue efforts on September 11, 2001, in New York, USA.

  1

  Ethical Standards

  and Practices

  Over millions of years, through the intricate processes of evolution, the human being was created. Along with a unique ability to think about personal actions and the origins, value, and results of those actions, we retained ancestral instincts that helped us survive. One of those instincts is aggression. The most aggressive early humans became the most fit of the species and were the ones to survive.

  Though aggression seems at times to be the ultimate evil, it does serve a purpose. Many people today believe that through self-awareness and the search for truth, human beings can learn to channel their aggressive instincts in productive ways to become humane, moral creatures living in a truly good world.

  GOOD AND EVIL

  The essence of goodness is to preserve life, to promote happiness, and to help people achieve their goals. To early human beings, goodness meant survival. Evil, however, was more complex; it 1

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  probably meant harm, fear of the unknown, the magical and dangerous darkness. When human beings began to record their feelings, they talked of this basic evil. As human sophistication increased, our conceptions of good and evil also became more complex. Humans moved far beyond merely valuing their own lives; they became concerned with the kinds of lives they led. Which values were good ones? How did they know when they were evil?

  Society told them, and different societies offered different answers.

  For centuries, westerners looked upon themselves as innately evil. In the sixteenth and seventeenth centuries, supersti-tious concepts of evil ran wild, and witch-hunting arose—a natural outcome when evil could be defined by one’s fears and resentments of others. Philosophers of the eighteenth century believed that human beings begin life as good and innocent creatures but are doomed to corruption by society. The nineteenth-century Victorians believed that science and progress, hand in hand with God, would bring people to a realizable state of perfec-tion. Of course, whether humans are considered essentially good or essentially evil is academic in the everyday world.

  Values

  Every society has embraced moral codes and has formulated rules of conduct. The rules a society chooses are dependent on the goals of that society and its leaders. By making rules, societies define evil, and such official definitions vary greatly among different societies. Today, the actions and values of an individual are guided not only by the imposed laws of church and state, but also by the all-pervasive arena of public opinion.

  In addition to society, religion, and public opinion, we derive our values from other, more personal, sources. Children learn values from parents who lay down the law and act as examples of conduct and from teachers who impart more than facts to their students. Sometimes the moral lessons are straightforward and undisguised, but often they are more subtle, taught by implication and example.

  Ethical Standards and Practices 3

  Despite all the guidelines, the laws, the shining examples, and the taboos, we all reach a stage where we look to ourselves for answers and decide what we believe and where we stand.

  What should we do if society, religion, or public opinion dictates one thing and our conscience another? Judged by our deeds, we must take responsibility for our own acts. In 1842, the poet Alfred Lord Tennyson (1809–1892) asked, “Ah, when shall all men’s good be each man’s rule, and universal peace lie like a shaft of light across the land?” For “all men’s good” to be “each man’s rule,” we must act with reason, for reason is our unique advantage as human beings. We must learn to redirect our aggression so that we do not destroy our fellow beings and the world in which we live.

  Aggression can be bent to useful purposes—to explore, to construct, and to compete without hostility. If we wish to remain human, we must acknowledge our animal heritage and use it.

  Only by accepting and exploring our instincts will we truly understand our values and ourselves. Even then, however, each of us will have to rely on our own conscience. If we wish to stand outside the general laws, to act on our personal values, to define our own good and evil, we must know why we do so. In choosing this hardest path of all, we cannot shift responsibility from ourselves. We must believe in what we do and be ready for the consequences of rebellion.

  THE FOUNDATION OF ETHICS

  Ethics is the inherent inner voice, the source of self-control in the absence of external compulsion. I think that ethics can be defined as knowing the difference between what is the right thing to do and what you have a right to do. Ethics can be said to be based upon the Golden Rule: “Do to others as you would have them do to you.” Ethical behavior is judged by the way we act, the values that motivate us, the policies we have adopted, and the goals we seek to achieve. Every organization has an ethics strategy, whether explicit or implied. Each needs a set of ethics policies

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  and procedures to describe how that strategy is to be imple-mented and how the organization’s ethics goals are to be achieved. In the absence of policy, procedures, or precedents, ethical effectiveness is based upon organizational values that provide direction and consistency in decision making.

  In their article, “Doing the Right Thing,” H. B. Karp and Bob Abramms (1992) make a number of good points about ethics that can be appli
ed to investigative interviewing:

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  The main problem in dealing with ethics is that there is no universal definition, no clear objectives, and no agreement on appropriate behaviors. The only ethics that are realistic and worth supporting are situational ethics; what is occurring at any given point determines what actions are effective, appropriate, and ethical.

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  Values define who you are. All ethical decisions are determined by values that are clear and uncompromising statements about what is critically important. In organizations, clear values drive mission statements, strategic plans, and effective, results-oriented behavior.

  ●

  Ethics come into play when external pressures force someone to act in a manner that is not consistent with his or her values. Only actions can be judged to be ethical or unethical. Ethics do not define what is acceptable about an action as much as they define what is not acceptable.

  ●

  Ethics provide a set of guidelines that outlines what constitutes appropriate behavior. Once a clearly stated code of ethics is developed and made public, individuals are responsible for their own actions. The code of ethics supports the concept of dignity as the central element that drives human interaction in the workplace. Most organizational codes of ethics clearly demand that people treat each other with respect. When we show consideration to others, we are indicating that we hold them in high regard.

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  A code of ethics provides a commonly held set of guidelines that will provide a consistent, value-driven basis for

  Ethical Standards and Practices 5

  judging what is right or wrong in any given situation and establishes the outer limits of acceptable behavior.

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  If a new code of ethics is truly going to be operational, people have to have an opportunity to see where the ethics originate, what purpose they serve, and how they relate to each individual.

  ETHICAL LEADERSHIP

  Members of an organization look to their leaders for ethical guidance. Leaders must clearly define what is right and what is wrong, telling subordinates in person what behavior is expected and what will not be tolerated. Everyone must know where they stand. Once the organization has set the ethical line, it must reward good behavior and act decisively when moral and ethical lapses occur. Edward Petry, Center for Business Ethics at Bentley College, Waltham, MA, notes in the article “Have We Lost Our Moral Compass?,” “Just having an ethics policy isn’t always enough. It is meaningless if not reinforced with training and communication. More telling is the hidden language of ethics. It is the accumulated informal knowledge about what is rewarded and what is punished. It is not always in sync with what’s said publicly, but it’s far closer to reality” (1990).

  It is essential to have a written code of conduct that clearly states that dishonesty is not acceptable. It is important that this code of conduct be created from the bottom up, with input from employees at all levels. Members of the organization must see the agreement between what they are being asked to do for the organization and their values—what they personally believe is right, fair, and good. There must be a process in place that allows employees at all levels to communicate up the chain of command without fear of reprisal.

  Leaders at the highest levels of the organization must clearly demonstrate their commitment to ethical behavior through their actions as well as their words. Stating an uncompromising dedication to ethics is not enough; leaders must not only talk about

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  ethics, but also live it. They must bring respect and compassion to their management of people, providing employees with maximum opportunities to reach their highest potentials by treating them fairly, honestly, and supportively.

  ETHICS FOR LAW ENFORCEMENT PROFESSIONALS

  Every profession has gone through a period of development in which society questions the qualifications of the profession’s members. No group can claim to be a profession until its members meet the highest standards of education, training, and experience. The professional must be regulated by laws so that society can feel confident of receiving competent, reliable services.

  Each profession should take the initiative to adopt a code of ethics that is particular to the specific services it renders to society. Legislative law can go only so far in setting standards, and then the profession itself must take over, regulating its members with semijudicial procedures governing techniques and methods of service. Policies and procedures are the vehicles that an organization uses to communicate expectations and requirements to its employees. These guidelines provide an effective supplement to individual judgment. A code of ethics turns a specialty into a profession. Without their ethical codes, the legal and medical professions would not retain their high status in our society.

  Some professionals, such as law enforcement officers, have an awesome responsibility: Their actions affect the life, liberty, and happiness of the individual members of society. The principal objective of ethical law enforcement professionals is to render service to society with full respect for the dignity of all in the determination of the truth. Confidence in the law enforcement professional is partly created through a public acknowledgment of the professional’s integrity, education, and experience. Professionals should observe all statutes of society, should uphold the dignity and honor of the profession, and should accept its self-imposed disciplines.

  They should expose, without hesitation, the illegal or unethical conduct of fellow members of the profession. The law enforcement

  Ethical Standards and Practices 7

  profession should safeguard the public and itself against officers who are deficient in moral character or professional competence.

  Professional Integrity

  The public must have confidence in the law enforcement professional’s integrity and high professional standards. Law enforcement professionals must not jeopardize their integrity by personal, political, or financial associations that would improperly influence or interfere with an investigation. They should not allow the particular conditions or circumstances of an investigation to impair the free and complete exercise of their judgment and skill. Professionals will be held responsible for their acts and must be prepared to defend their professional behavior.

  Criminal investigations must be conducted in a professional atmosphere in which no one tampers with evidence and no one physically or psychologically compels an innocent person to confess. Criminal investigators should practice a method of evidence collection instituted upon a diagnostic technique, and they should not professionally endorse anyone who does not. By diagnostic, I mean that the investigative search should include several avenues or procedures such as interviews, collection of real and documentary evidence, surveillance, and so forth.

  The law enforcement professional’s report should be a clear, concise summary of what transpired during the investigation and should record all pertinent information. All professionals should strive diligently and continually to improve their communication skills. They should be eager to advance the status of their profession by sharing their professional knowledge with their colleagues. The improvement of law enforcement standards and techniques is the direct responsibility of each member of the profession.

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  The Art of Investigative Interviewing

  A SAMPLE CODE OF ETHICS FOR LAW

  ENFORCEMENT PROFESSIONALS

  Reputable law enforcement professionals cannot claim to be perfect—they are, after all, human—but they can hold themselves to high ethical standards. I suggest that all members of the profession pledge themselves to some form of the following code of ethics:

  ●

  To verify the truth fairly, impartially, and objectively.

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  To make no false statements and claims regarding personal qualifications.

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  To maintain the highest standards of moral, ethical, and pro
fessional conduct.

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  To be governed by laws of equity and justice in the performance of all functions.

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  To respect the inherent dignity of all people.

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  To be just, fair, and impartial with each individual, irrespective of social, political, racial, ethnic, or religious considerations, economic status, or physical characteristics.

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  To discharge professional duties and obligations with independence, dignity, and self-respect.

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  To keep all decisions and reports scrupulously free from any personal, financial, political, fraternal, social, or improper influence.

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  To refrain from false or misleading reporting.

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  To accept no illegal or improper remuneration for services rendered.

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  To refrain from representing competing or conflicting interests when such representation is, or gives the appearance of being, unethical.

  Ethical Standards and Practices 9

  ●

  To refrain from slanderous or libelous public criticism of the law enforcement profession or its membership, recognizing that the welfare and advancement of the profession and society supersede personal desires and ambitions.

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  To recommend and accept for membership in the profession those who strive in every way to be a credit to the profession.

  ●

  To support the purposes and objectives of the profession.

  Principles of Practice

  Principles of practice are intended to aid professionals individually and collectively in maintaining a high level of ethical conduct. They are not laws, but standards by which all professionals may determine the appropriateness of their conduct when interacting with their peers, with members of allied professions, and with the general public.

  Ethical standards are statements that represent the objectives toward which every law enforcement officer and private investigator should strive. The principles of practice can be consulted for guidance in specific situations. They help professionals meet their ethical objectives and are vital to a clear interpretation of the code of ethics.